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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
3.75% Senior Convertible Notes due 2020 | $ 23.85 | 09/02/2016 | P | $ 100,000 | (1) | 03/01/2020 | Common Stock | 4,192 (2) | $ 77,850 (3) | $ 100,000 | I | See Footnote (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
THORNE OAKLEIGH 111 N. CANAL STREET CHICAGO, IL 60606 |
X | X | ||
Thorndale Farm LLC 63 FRONT STREET MILLBROOK, NY 12545 |
X |
/s/ Oakleigh Thorne | 09/07/2016 | |
**Signature of Reporting Person | Date | |
Thorndale Farm, L.L.C., By: /s/ Oakleigh Thorne, Chief Executive Officer | 09/07/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The 3.75% senior convertible notes due 2020 become convertible on December 1, 2019 or earlier upon certain events. |
(2) | The 3.75% senior convertible notes due 2020 are convertible into common stock at a conversion price equal to $23.85 per share of the issuer's common stock, subject to adjustment in certain events. |
(3) | Represents the aggregate purchase price for the 3.75% senior convertible notes due 2020. |
(4) | Reflects 3.75% senior convertible notes due 2020 held by Option 1, LLC. Mr. Thorne is the managing member and Mr. Thorne's spouse is the majority member. Mr. Thorne, as the managing member of Option 1, LLC and the spouse of the majority member of Option 1, LLC may be deemed to have beneficial ownership of the 3.75% senior convertible notes due 2020 held by Option 1, LLC. Mr. Thorne disclaims beneficial ownership of such 3.75% senior convertible notes due 2020 except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such 3.75% senior convertible notes due 2020 for purposes of Section 16 or for any other purpose. |